Compliance Officer jobs - New York, NY

Officer in our New York office. As a member of the Compliance team, the Senior ComplianceOfficer will be ... in maintaining, updating, developing and testing firm wide compliance policies and programs; managing compliance...

Description The Head of Compliance * Point of contact for all exams/inquiries & audits * cover all entities and manage s ... Profile 10-20 years plus experience required in regulatory compliance. A JD is not required but a plus. Job Offer...

Bloomberg is seeking a Swaps Regulatory ComplianceOfficer who will be responsible for supporting the implementation and ... Execution Facility Compliance Program designed to ensure compliance with all applicable regulatory requirements...

recommendations on the compliance requirements. The officer will stay informed of novel issues and threats to ... parties. The officer will work with the Firm’s compliance staff to help identify and escalate “red flags” that may...

like to transition this role into the Chief ComplianceOfficer within a year, could be two years pending on ... and marketing material review. Qualifications: 10+ years of Compliance experience Experience in Private Equity...

the individual will also be responsible for the legal and compliance functions in the firm. Responsibilities include: ... and agreements, understanding and managing firms overall compliance oversight, serve as a partner to the CEO to...

Position Summary Chief ComplianceOfficer for two SEC registered investment advisers investing primarily in fixed-income ... investment company Development and supervision of Compliance staff Participate in various committee meetings...

Responsibilities: The Senior Markets ComplianceOfficer will be accountable for the following:Overall ... and procedures).Responsible for managing one or two complianceofficer(s). Ensure all compliance manuals,...

broker-dealer and investment bank seeks a Chief ComplianceOfficer/Counsel to lead both functions for their US ... Reporting to the President, the Chief ComplianceOfficer will ensure regulatory compliance for all US...